Branch offices
0 offices
FINRA: Small firm
CRD #615 · FINRA BrokerCheck + SEC IAPD
NEW England Securities
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, NEW England Securities ranks #329 of 20,055 by disclosure count (most disclosures first). NEW England Securities carries 19 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade D.
- Grade D
- Safety grade
- 0
- branch offices
- 19
- disclosures
- #329 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 615 NEW England Securities
NEW England Securities · Grade D · 19 disc · 19.00/office · Single-office firm
- CRD 615
- GRADE D
- DISC 19
- REG 9
- ARB 10
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #329 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: Acap Financial Inc. (19.00 disc/office)
NEW England Securities ranks #329 of 20,055 by disclosure count among graded broker-dealers; heavy load at 19.00 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 2/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.
Data updated July 2026
Total disclosures
19 events
On FINRA BrokerCheck
Regulatory events
9 actions
47% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 9 |
| Arbitrations | 10 |
| Civil Events | 0 |
| Total | 19 |
Counts for NEW England Securities reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 9 Arbitration 10 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- CRD Number
- 615
Heavy disclosure book
NEW England Securities in the heavier-disclosure third
NEW England Securities carries 19 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#329 of 20,055). Mix is 9 regulatory, 10 arbitration, and 0 civil (47% regulator share).
NEW England Securities ranks #329 of 20,055 by BrokerCheck disclosure count among graded firms (19 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of NEW England Securities's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does NEW England Securities sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, NEW England Securities ranks #329 of 20,055 by disclosure count (most disclosures first). Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of D mean for NEW England Securities?
A grade of D reflects NEW England Securities's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 19 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does NEW England Securities have?
NEW England Securities has 19 total FINRA disclosures, including 9 regulatory events, 10 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is NEW England Securities?
NEW England Securities operates 0 branch offices and is classified by FINRA as a small firm (Single-office firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify NEW England Securities's disciplinary record?
You can verify NEW England Securities's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 615. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). NEW England Securities's 19 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid NEW England Securities because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. NEW England Securities carries 19 disclosures across 0 branch offices (about 19.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- Acap Financial Inc. - 19.00 disclosures/office, nearest single-office firm peer to NEW England Securities's 19.00
- APS Financial Corporation - 19.00 disclosures/office, nearest single-office firm peer to NEW England Securities's 19.00
- Baird, Patrick & Co., Inc. - 19.00 disclosures/office, nearest single-office firm peer to NEW England Securities's 19.00
- Red Flags in Advisor Records - How to read NEW England Securities's heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 19 disclosures behind NEW England Securities's Grade D.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as NEW England Securities.
- Compare firms - put NEW England Securities next to peers on grade and footprint.
Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.
Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.
Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This page draws directly on FINRA BrokerCheck and SEC IAPD data, no figure is typed in by an editor. See our editorial standards & corrections policy, the methodology behind these numbers, or report a data error. Data current as of July 2026.